Vault-13

ALPS ETF TR OUSA

OSHARES US QUALT · ETP · CUSIP 00162Q387

115 institutional holders +5 vs Q3 2023
8,154,1338.2m shares reported held*
$375.9mreported value*
13 new 37 added 31 reduced 9 sold out net bought ≈ $31.7m (+688.5k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once ($424.0k this quarter). Holder counts are more reliable. Implied quarter-end price ≈ $46.10. Options: 1 managers hold calls ($0 notional), 0 hold puts (—).

Trends to Q4 2023

Institutional holders

Managers reporting a position, each quarter

050100150Q3 22: 96Q4 22: 104Q1 23: 104Q2 23: 104Q3 23: 110Q4 23: 115115Q3 22Q4 22Q1 23Q2 23Q3 23Q4 23
Numbers
QuarterHolders
Q3 202296
Q4 2022104
Q1 2023104
Q2 2023104
Q3 2023110
Q4 2023115

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
1000100Q4 22: 47 bought or addedQ4 22: 47 cut or sold outQ4 22Q1 23: 35 bought or addedQ1 23: 57 cut or sold outQ1 23Q2 23: 39 bought or addedQ2 23: 44 cut or sold outQ2 23Q3 23: 43 bought or addedQ3 23: 42 cut or sold outQ3 23Q4 23: 50 bought or addedQ4 23: 40 cut or sold outQ4 23
Numbers
QuarterBought or addedCut or sold out
Q4 20224747
Q1 20233557
Q2 20233944
Q3 20234342
Q4 20235040

Calls vs puts

Options held, notional value, last 4 quarters. P/C = puts ÷ calls

CallsPuts
$0$100k$200k$300kQ1 23 calls: $4.0kQ1 23 puts: $0Q1 23P/C 0.00Q2 23 calls: $202.4kQ2 23 puts: $0Q2 23P/C 0.00Q3 23 calls: $0Q3 23 puts: $0Q3 23P/C —Q4 23 calls: $0Q4 23 puts: $0Q4 23P/C —
Numbers
QuarterCallsPutsP/C
Q1 2023$4.0k$00.00
Q2 2023$202.4k$00.00
Q3 2023$0$0—
Q4 2023$0$0—

Biggest buyers

MORGAN STANLEY Added +1,528,669+1.5m
MGO ONE SEVEN LLC New +199,496+199.5k
Secure Asset Management, LLC New +31,638+31.6k
Rockefeller Capital Management L.P. New +24,700+24.7k
LPL Financial LLC Added +23,289+23.3k
ORG Partners LLC Added +16,796+16.8k
JPMORGAN CHASE & CO Added +14,010+14.0k
STIFEL FINANCIAL CORP Added +12,692+12.7k
KESTRA PRIVATE WEALTH SERVICES, LLC Added +10,640+10.6k
USA FINANCIAL FORMULAS Added +10,088+10.1k

Biggest sellers

WELLS FARGO & COMPANY/MN Reduced -878,548-878.5k
ROYAL BANK OF CANADA Reduced -241,983-242.0k
OSAIC HOLDINGS, INC. Reduced -21,123-21.1k
SUSQUEHANNA INTERNATIONAL GROUP, LLP Reduced -15,543-15.5k
BANK OF AMERICA CORP /DE/ Reduced -11,999-12.0k
ENVESTNET ASSET MANAGEMENT INC Reduced -8,842-8.8k
TAP Consulting, LLC Sold out -8,016-8.0k
AMERIPRISE FINANCIAL INC Reduced -6,231-6.2k
Sigma Planning Corp Reduced -5,994-6.0k
Retirement Group, LLC Reduced -5,300-5.3k

Biggest calls

Cutler Group LLC / CA New $0100 shares

Biggest puts

None

Options at notional value: the value of the shares the contracts control, as filers report them, not what the options cost. Not included in the holders, shares or buying above.

Holders, Q4 2023

#ManagerLocationShares Value% of their portfolioChangeShares change
1 MORGAN STANLEY 0.01% of their portfolio NEW YORK, NY 2,903,5922.9m $133.8m $133.8m 0.01% Added +1.5m +1,528,669
2 WELLS FARGO & COMPANY/MN 0.01% of their portfolio SAN FRANCISCO, CA 659,061659.1k $30.4m $30.4m 0.01% Reduced -878.5k -878,548
3 LPL Financial LLC 0.02% of their portfolio FORT MILL, SC 555,537555.5k $25.6m $25.6m 0.02% Added +23.3k +23,289
4 ROYAL BANK OF CANADA 0.01% of their portfolio TORONTO, A6 543,352543.4k $25.0m $25.0m 0.01% Reduced -242.0k -241,983
5 BANK OF AMERICA CORP /DE/ 0.00% of their portfolio CHARLOTTE, NC 515,482515.5k $23.8m $23.8m 0.00% Reduced -12.0k -11,999
6 Kestra Advisory Services, LLC 0.09% of their portfolio AUSTIN, TX 240,519240.5k $11.1m $11.1m 0.09% Reduced -556 -556
7 UBS Group AG 0.00% of their portfolio ZURICH, V8 234,156234.2k $10.8m $10.8m 0.00% Reduced -3.5k -3,464
8 RAYMOND JAMES & ASSOCIATES 0.01% of their portfolio ST PETERSBURG, FL 212,111212.1k $9.8m $9.8m 0.01% Added +7.6k +7,562
9 MGO ONE SEVEN LLC 0.53% of their portfolio Beachwood, OH 199,496199.5k $9.2m $9.2m 0.53% New
10 ENVESTNET ASSET MANAGEMENT INC 0.00% of their portfolio Berwyn, PA 173,237173.2k $8.0m $8.0m 0.00% Reduced -8.8k -8,842
11 Equitable Holdings, Inc. 0.08% of their portfolio NEW YORK, NY 144,054144.1k $6.6m $6.6m 0.08% Added +3.0k +2,963
12 OSAIC HOLDINGS, INC. 0.01% of their portfolio SCOTTSDALE, AZ 143,062143.1k $6.6m $6.6m 0.01% Reduced -21.1k -21,123
13 STIFEL FINANCIAL CORP 0.01% of their portfolio ST. LOUIS, MO 118,532118.5k $5.5m $5.5m 0.01% Added +12.7k +12,692
14 Algorithmic Investment Models, LLC 3.85% of their portfolio Boston, MA 110,130110.1k $5.1m $5.1m 3.85% Reduced -4.8k -4,764
15 Private Advisor Group, LLC 0.04% of their portfolio MORRISTOWN, NJ 102,256102.3k $4.7m $4.7m 0.04% Added +2.2k +2,239
16 AMERIPRISE FINANCIAL INC 0.00% of their portfolio MINNEAPOLIS, MN 77,17877.2k $3.6m $3.6m 0.00% Reduced -6.2k -6,231
17 Raymond James Financial Services Advisors, Inc. 0.01% of their portfolio ST. PETERSBURG, FL 71,62571.6k $3.3m $3.3m 0.01% Reduced -1.2k -1,182
18 KESTRA PRIVATE WEALTH SERVICES, LLC 0.08% of their portfolio AUSTIN, TX 70,78970.8k $3.3m $3.3m 0.08% Added +10.6k +10,640
19 MML INVESTORS SERVICES, LLC 0.01% of their portfolio SPRINGFIELD, MA 70,50270.5k $3.2m $3.2m 0.01% Added +579 +579
20 WEALTH ENHANCEMENT ADVISORY SERVICES, LLC 0.01% of their portfolio PLYMOUTH, MN 61,90861.9k $2.9m $2.9m 0.01% Reduced -1.2k -1,205
21 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 55,17355.2k $2.5m $2.5m 0.00% Added +2.2k +2,151
22 Stratos Wealth Partners, LTD. 0.04% of their portfolio BEACHWOOD, OH 51,93351.9k $2.4m $2.4m 0.04% Added +1.2k +1,187
23 Beaumont Financial Advisors, LLC 0.21% of their portfolio NEEDHAM, MA 49,95950.0k $2.3m $2.3m 0.21% Reduced -2.3k -2,312
24 NewEdge Advisors, LLC 0.02% of their portfolio NEW ORLEANS, LA 40,02540.0k $1.9m $1.9m 0.02% Reduced -3.4k -3,423
25 DAVENPORT & Co LLC 0.01% of their portfolio RICHMOND, VA 38,61238.6k $1.8m $1.8m 0.01% Added +222 +222
26 Caldwell Trust Co 0.20% of their portfolio Venice, FL 34,61934.6k $1.6m $1.6m 0.20% Reduced -601 -601
27 Private Portfolio Partners LLC 0.35% of their portfolio PARAMUS, NJ 32,61732.6k $1.5m $1.5m 0.35% Added +47 +47
28 Cetera Advisor Networks LLC 0.01% of their portfolio EL SEGUNDO, CA 31,88531.9k $1.5m $1.5m 0.01% Added +224 +224
29 Secure Asset Management, LLC 0.39% of their portfolio Troy, MI 31,63831.6k $1.5m $1.5m 0.39% New
30 Apollon Financial, LLC 0.49% of their portfolio MOUNT PLEASANT, SC 26,97027.0k $1.2m $1.2m 0.49% First filing
31 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 24,70024.7k $1.1m $1.1m 0.00% New
32 Park Edge Advisors, LLC 0.39% of their portfolio Cleveland, OH 24,28624.3k $1.1m $1.1m 0.39% Added +2.8k +2,818
33 Sovereign Financial Group, Inc. 0.31% of their portfolio STAMFORD, CT 22,19922.2k $1.0m $1.0m 0.31% Added +268 +268
34 ORG Partners LLC 0.17% of their portfolio ROANOKE, IN 21,82221.8k $1.0m $1.0m 0.17% Added +16.8k +16,796
35 Janney Montgomery Scott LLC 0.00% of their portfolio PHILADELPHIA, PA 20,94620.9k $965.0k $965.0k 0.00% Reduced -920 -920
36 Retirement Group, LLC 0.36% of their portfolio SAN DIEGO, CA 19,45719.5k $896.8k $896.8k 0.36% Reduced -5.3k -5,300
37 Capital Advisors, Ltd. LLC 0.11% of their portfolio SHAKER HEIGHTS, OH 17,59917.6k $811.0k $811.0k 0.11% Added +18 +18
38 Kingsview Wealth Management, LLC 0.02% of their portfolio GRANTS PASS, OR 17,47717.5k $805.5k $805.5k 0.02% Reduced -197 -197
39 GOLDMAN SACHS GROUP INC 0.00% of their portfolio NEW YORK, NY 17,15117.2k $790.5k $790.5k 0.00% Unchanged
40 AXXCESS WEALTH MANAGEMENT, LLC 0.02% of their portfolio CARLSBAD, CA 16,65716.7k $767.7k $767.7k 0.02% Added +34 +34
41 FLAGSHIP HARBOR ADVISORS, LLC 0.05% of their portfolio BOSTON, MA 16,14316.1k $744.0k $744.0k 0.05% Added +159 +159
42 JPMORGAN CHASE & CO 0.00% of their portfolio NEW YORK, NY 15,47415.5k $713.2k $713.2k 0.00% Added +14.0k +14,010
43 Grandview Asset Management LLC 0.37% of their portfolio HARRISBURG, PA 15,31615.3k $706.0k $706.0k 0.37% Reduced -3.6k -3,594
44 Diligent Investors, LLC 0.19% of their portfolio REDLANDS, CA 15,00715.0k $691.7k $691.7k 0.19% Added +1 +1
45 Cambridge Investment Research Advisors, Inc. 0.00% of their portfolio FAIRFIELD, IA 13,92213.9k $642.0k $642.0k 0.00% Reduced -2.0k -1,968
46 Atria Wealth Solutions, Inc. 0.01% of their portfolio NEW YORK, NY 13,16313.2k $606.7k $606.7k 0.01% Reduced -1.3k -1,303
47 Astoria Portfolio Advisors LLC. 0.23% of their portfolio NEW YORK, NY 11,85211.9k $565.1k $565.1k 0.23% Added +790 +790
48 FOCUS FINANCIAL NETWORK INC /ADV 0.02% of their portfolio Minneapolis, MN 11,53511.5k $531.6k $531.6k 0.02% First filing
49 CITADEL ADVISORS LLC 0.00% of their portfolio MIAMI, FL 11,28011.3k $519.9k $519.9k 0.00% Added +6.0k +6,038
50 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 11,01811.0k $507.8k $507.8k 0.01% Added +100 +100
51 USA FINANCIAL FORMULAS 0.08% of their portfolio ADA, MI 10,17510.2k $469.0k $469.0k 0.08% Added +10.1k +10,088
52 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 9,8219.8k $453.0k $453.0k 0.00% Reduced -4 -4
53 AE Wealth Management LLC 0.00% of their portfolio TOPEKA, KS 9,1489.1k $431.9k $431.9k 0.00% Reduced -671 -671
54 JANE STREET GROUP, LLC 0.00% of their portfolio NEW YORK, NY 9,1349.1k $421.0k $421.0k 0.00% New
55 PERSONAL CFO SOLUTIONS, LLC 0.07% of their portfolio CHESTER, NJ 9,0509.1k $417.1k $417.1k 0.07% Reduced -2.4k -2,420
56 Summit Financial, LLC 0.03% of their portfolio PARSIPPANY, NJ 8,8488.8k $407.8k $407.8k 0.03% Unchanged
57 WEDBUSH SECURITIES INC 0.02% of their portfolio PASADENA, CA 8,8108.8k $406.0k $406.0k 0.02% Unchanged
58 WIN ADVISORS, INC 0.18% of their portfolio PALM BEACH GARDENS, FL 8,6358.6k $398.0k $398.0k 0.18% New
59 J.W. COLE ADVISORS, INC. 0.02% of their portfolio TAMPA, FL 7,9678.0k $367.2k $367.2k 0.02% Added +949 +949
60 MTM FINANCIAL GROUP, LLC 0.25% of their portfolio BETHLEHEM, PA 7,3957.4k $340.8k $340.8k 0.25% Unchanged
61 ATLAS CAPITAL ADVISORS INC. 0.05% of their portfolio JACKSON, WY 7,3837.4k $340.3k $340.3k 0.05% Reduced -300 -300
62 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 7,1397.1k $329.0k $329.0k 0.00% Reduced -15.5k -15,543
63 Advisory Services Network, LLC 0.01% of their portfolio ATLANTA, GA 7,0377.0k $324.3k $324.3k 0.01% New
64 Steward Partners Investment Advisory, LLC 0.00% of their portfolio STAMFORD, CT 6,7806.8k $312.5k $312.5k 0.00% Added +20 +20
65 Burns Matteson Capital Management, LLC 0.22% of their portfolio CORNING, NY 6,7436.7k $310.8k $310.8k 0.22% Unchanged
66 Compound Planning, Inc. 0.04% of their portfolio NEW YORK, NY 6,4356.4k $296.6k $296.6k 0.04% Added +802 +802
67 Beacon Financial Advisory LLC 0.14% of their portfolio CLEVELAND, OH 6,1486.1k $283.4k $283.4k 0.14% Added +9 +9
68 Integrated Wealth Concepts LLC 0.00% of their portfolio WALTHAM, MA 6,0636.1k $279.5k $279.5k 0.00% Added +310 +310
69 Pine Valley Investments Ltd Liability Co 0.02% of their portfolio MARLTON, NJ 6,0556.1k $279.1k $279.1k 0.02% Added +30 +30
70 Mariner, LLC 0.00% of their portfolio Overland Park, KS 5,8255.8k $268.5k $268.5k 0.00% New
71 HIGHLAND CAPITAL MANAGEMENT, LLC 0.02% of their portfolio MEMPHIS, TN 5,7555.8k $265.2k $265.2k 0.02% Added +100 +100
72 Sigma Planning Corp 0.02% of their portfolio ANN ARBOR, MI 5,3455.3k $246.3k $246.3k 0.02% Reduced -6.0k -5,994
73 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 0.00% of their portfolio MILWAUKEE, WI 5,2835.3k $243.5k $243.5k 0.00% Reduced -2.2k -2,172
74 Creative Planning 0.00% of their portfolio OVERLAND PARK, KS 5,1415.1k $237.0k $237.0k 0.00% Unchanged
75 Mutual Advisors, LLC 0.01% of their portfolio OMAHA, NE 5,0845.1k $234.3k $234.3k 0.01% Added +1 +1
76 Nemes Rush Group LLC 0.04% of their portfolio NOVI, MI 5,0005.0k $230.4k $230.4k 0.04% Unchanged
77 ACAS, LLC 0.26% of their portfolio RANCHO SANTA FE, CA 4,9094.9k $226.3k $226.3k 0.26% Unchanged
78 Next Level Private LLC 0.12% of their portfolio HARRISON, NY 4,6414.6k $213.9k $213.9k 0.12% New
79 Stephens Consulting, LLC 0.07% of their portfolio FLINT, MI 4,2834.3k $197.4k $197.4k 0.07% Reduced -217 -217
80 COMERICA BANK 0.00% of their portfolio DALLAS, TX 4,1744.2k $192.4k $192.4k 0.00% Unchanged
81 BROWN BROTHERS HARRIMAN & CO 0.00% of their portfolio NEW YORK, NY 2,1732.2k $100.2k $100.2k 0.00% Unchanged
82 Tower Research Capital LLC (TRC) 0.00% of their portfolio NEW YORK, NY 2,1462.1k $98.9k $98.9k 0.00% Reduced -4.8k -4,766
83 Providence Capital Advisors, LLC 0.02% of their portfolio CHARLOTTE, NC 2,1002.1k $96.8k $96.8k 0.02% Unchanged
84 FMR LLC 0.00% of their portfolio BOSTON, MA 1,5291.5k $70.5k $70.5k 0.00% Added +957 +957
85 EMFO, LLC 0.06% of their portfolio WESTON, FL 1,3801.4k $63.6k $63.6k 0.06% Unchanged
86 ICA Group Wealth Management, LLC 0.01% of their portfolio DENVER, CO 1,2451.2k $57.4k $57.4k 0.01% New
87 CENTRAL TRUST Co 0.00% of their portfolio JEFFERSON CITY, MO 1,0761.1k $49.6k $49.6k 0.00% Unchanged
88 US BANCORP \DE\ 0.00% of their portfolio MINNEAPOLIS, MN 1,0721.1k $49.4k $49.4k 0.00% Unchanged
89 LGT Financial Advisors LLC 0.05% of their portfolio DALLAS, TX 938938 $43.2k $43.2k 0.05% Unchanged
90 BLAIR WILLIAM & CO/IL 0.00% of their portfolio CHICAGO, IL 888888 $40.9k $40.9k 0.00% Added +2 +2
91 Semmax Financial Advisors Inc. 0.01% of their portfolio Winston Salem, NC 852852 $40.3k $40.3k 0.01% Unchanged
92 LANARK FINANCIAL, INC. 0.00% of their portfolio BIRMINGHAM, AL 851851 $39.0k $39.0k 0.00% Reduced -1 -1
93 PRINCIPAL SECURITIES, INC. 0.00% of their portfolio DES MOINES, IA 761761 $35.1k $35.1k 0.00% First filing
94 TD Capital Management LLC 0.00% of their portfolio MEMPHIS, TN 662662 $30.5k $30.5k 0.00% Unchanged
95 Beacon Capital Management, LLC 0.01% of their portfolio FRANKLIN, TN 618618 $25.9k $25.9k 0.01% Unchanged
96 Jackson Hole Capital Partners, LLC 0.01% of their portfolio TULSA, OK 552552 $25.4k $25.4k 0.01% Unchanged
97 Princeton Global Asset Management LLC 0.00% of their portfolio PRINCETON, NJ 424424 $19.5k $19.5k 0.00% New
98 Hobbs Group Advisors, LLC 0.01% of their portfolio COLUMBIA, SC 384384 $17.7k $17.7k 0.01% First filing
99 Glen Eagle Advisors, LLC 0.00% of their portfolio KINGSTON, NJ 315315 $14.5k $14.5k 0.00% Added +2 +2
100 OPTIMUM INVESTMENT ADVISORS 0.01% of their portfolio Chicago, IL 303303 $14.0k $14.0k 0.01% Unchanged